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TO

Timothy P. O'neill

HAYWOOD SECURITIES (USA)
Vancouver, Bc, V6C 3L6
Some features on this profile are disabled
CRD#: 4277193
TO

Professional summary

Timothy Patrick O'neill, who also goes by Timothy P. O'neill, is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy P. O'neill

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Patrick O'neill's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 18, 2011 - Present

HAYWOOD SECURITIES (USA) INC.

Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
BD
CRD#: 42072
Vancouver, Bc,
Past

January 21, 2009 - January 11, 2011

VENTUM FINANCIAL (US) CORP.

BD
CRD#: 127404
VANCOUVER,
Past

September 22, 2008 - October 7, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 27, 2004 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 10, 2001 - April 6, 2004

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/3/2023)
RR
California
(1/18/2011)
RR
Colorado
(3/20/2014)
RR
Connecticut
(1/18/2011)
RR
Florida
(7/18/2012)
RR
Georgia
(6/12/2025)
RR
Idaho
(1/19/2011)
RR
Illinois
(1/18/2011)
RR
Iowa
(5/8/2014)
RR
Michigan
(11/2/2018)
RR
Nevada
(5/17/2017)
RR
New Mexico
(9/21/2022)
RR
New York
(1/18/2011)
RR
North Carolina
(8/15/2018)
RR
Oregon
(1/18/2011)
RR
Pennsylvania
(7/5/2021)
RR
Texas
(4/1/2011)
RR
Utah
(3/7/2018)
RR
Washington
(1/18/2011)
RR
Wyoming
(6/27/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/10/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/9/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.

CRD#: 42072 / SEC#: , 8-49696

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAYWOOD SECURITIES INC.SHAREHOLDER
BANARES, BERNADETTE BAUTISTACHIEF FINANCIAL OFFICER6928911
BLANCHARD, ROBERT CRAIGPRESIDENT & CHIEF EXECUTIVE OFFICER2814206
THOMPSON, STANLEY BRUCEHEAD OF COMPLIANCE, CHIEF COMPLIANCE OFFICER4936225
VIRVILIS, PETERNON CONTROL DIRECTOR7991478

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HAYWOOD SECURITIES (USA) INC.

CRD#: 42072Vancouver, Bc, V6C 3L6

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